ESMA’s Shareholder Rights Directive II (SRD II) may be the most impactful regulatory change you haven’t yet heard about this year. Don’t call it The King, but when SRD II goes live in 2020, it will impact holdings in more … Continue reading Elvis Has Left the Building: The Rock and Roll of the Shareholder Rights Directive II
Since 2014, Precidian Investments has sought Securities and Exchange Commission (SEC) approval for a new kind of active exchange-traded fund (ETF) that does not disclose its daily holdings. No longer. On April 8, the SEC gave Precidian Investments contingent approval … Continue reading SEC, Precidian Pave the Way for Non-transparent, Active ETFs
We highlight what to expect this quarter and recap Q1’s key regulatory developments. FinReg’s Q2 Game Changers: By now, Brexit Day should have come and gone as the original vote called for the split to take place on March 29. … Continue reading What FinReg Has in Store for Q2 2019
While OnTheRegs primarily sticks to asset management regulation, BBH is also a leading servicer of global banks. This week, we break from asset management to focus on an area of the market which has vast consequence for investors and asset … Continue reading Big Bank Theory: Orderly Liquidation Authority Implementation on the Move
For some time now, financial firms have been looking at how they can use artificial intelligence (AI) to improve their processes, automate rote functions, and create efficiencies in their operating models. But the industry still has a long way to … Continue reading Luxembourg’s Financial Regulator Takes Another Step to Advance AI Adoption
We highlight what to expect this quarter and recap Q4 2018’s key regulatory developments. Continue reading What FinReg Has in Store for Q1 2019